WALL STREET FRAUDSTERS

This is a look at Wall Street fraudsters via excerpts from various U.S. government web sites such as the SEC, FDIC, DOJ, FBI and CFTC.

Sunday, November 30, 2014

SEC CHARGED UNREGISTERED BROKER WITH STEALING INVESTOR FUNDS IN DAY TRADING INVESTOR SCHEME

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FROM:   U.S. SECURITIES AND EXCHANGE COMMISSION  11/18/2014 05:30 PM EST The Securities and Exchange Commission today charged an unregist...
Friday, November 28, 2014

SEC CHARGES CANADIAN CO. IN ALLEGED PUMP-AND-DUMP SCHEME

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION PUMP-AND-DUMP, SECURITIES FRAUD Litigation Release No. 23135 / November 19, 2014 Securitie...
Wednesday, November 26, 2014

SEC SUSPENDS TRADING IN EBOLA RELATED COMPANIES

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  11/20/2014 10:30 AM EST The Securities and Exchange Commission suspended trading in four ...
Tuesday, November 25, 2014

CFTC DMO RULE ENFORCEMENT REVIEWS ISSUED FOR CBOT, COMEX, CME, NYME

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FROM:  U.S.COMMODITY FUTURES TRADING COMMISSION  November 24, 2014 CFTC DMO Issues Rule Enforcement Reviews of the Chicago Board of Trade...
Monday, November 24, 2014

SEC CHARGED PENNY STOCK CO. CEO IN ALLEGED PUMP-AND-DUMP SCHEME

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FROM:  U.S. SECURITIES AND EXCHANGE COMMISSION  Litigation Release No. 23134 / November 17, 2014 Securities and Exchange Commission v. Jos...
Sunday, November 23, 2014

Statement at Open Meeting on Regulation Systems Compliance and Integrity

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Statement at Open Meeting on Regulation Systems Compliance and Integrity
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